Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DNP SELECT INCOME FUND INCDNP · Entity 4041 | President and CEO | November 26, 2024 | November 27, 2024 |
| DTF TAX-FREE INCOME 2028 TERM FUND INCDTF · Entity 6905 | President and CEO | August 25, 2025 | August 26, 2025 |
| DUFF & PHELPS UTILITY & CORPORATE BOND TRUST INCDUC · Entity 12674 | Officer of Investment Adviser | March 02, 2020 | April 09, 2020 |
| Duff & Phelps Select MLP & Midstream Energy Fund Inc.DSE · Entity 137850 | Portfolio Manager | June 18, 2021 | June 21, 2021 |
| Duff & Phelps Utility & Infrastructure Fund Inc.DPG · Entity 5444 | President and CEO | August 25, 2025 | August 26, 2025 |
| Virtus Total Return Fund Inc.ZTR · Entity 5817 | Co-CIO | February 01, 2020 | February 11, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
DNP SELECT INCOME FUND INC
Report date November 26, 2024 · Filed November 27, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 8,361 |
Reported balance
After 2024-11-26 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-11-26 · Purchase · Acquired 2,000 · Balance 8,361 F1: Includes 482 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 1361. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 482 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 1361.
DTF TAX-FREE INCOME 2028 TERM FUND INC
Report date August 25, 2025 · Filed August 26, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 6,652 |
Reported balance
After 2025-08-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-08-25 · Purchase · Acquired 1,400 · Balance 6,652 F1: Includes 238.403 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 246. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 238.403 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 246.
DUFF & PHELPS UTILITY & CORPORATE BOND TRUST INC
Report date March 02, 2020 · Filed April 09, 2020
This filing explicitly reported no securities owned.
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
Report date June 18, 2021 · Filed June 21, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-06-18 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-06-18 · Sale · Disposed 1,710 · Balance 0 F1: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $9.35 to $9.38 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote F2: Since the last Form 4 filing, 3540 additional shares were acquired pursuant to the Fund's dividend reinvestment plan and thereafter, effective after the close of business on November 6, 2020, the Fund conducted a "1 for 10" reverse stock split. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $9.35 to $9.38 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote
F2: Since the last Form 4 filing, 3540 additional shares were acquired pursuant to the Fund's dividend reinvestment plan and thereafter, effective after the close of business on November 6, 2020, the Fund conducted a "1 for 10" reverse stock split.
Duff & Phelps Utility & Infrastructure Fund Inc.
Report date August 25, 2025 · Filed August 26, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,612 |
Reported balance
After 2025-08-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-08-25 · Purchase · Acquired 1,200 · Balance 11,612 F1: Includes 535 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 912. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 535 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 912.
Virtus Total Return Fund Inc.
Report date February 01, 2020 · Filed February 11, 2020
This filing explicitly reported no securities owned.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 25, 2025 Filed Aug 26, 2025 20:22 UTC | DTF TAX-FREE INCOME 2028 TERM FUND INC DTF · Entity 6905 | PurchaseCommon stock | 1,400 | $11.34 | $15,876.00 |
DisclosureSEC source: 0001213900-25-080769 · marketforms-70395.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,652 F1 · balance_after: Includes 238.403 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 246. Read SEC document |
| August 25, 2025 Filed Aug 26, 2025 20:24 UTC | Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444 | PurchaseCommon Stock | 1,200 | $12.77 | $15,324.00 |
DisclosureSEC source: 0001213900-25-080772 · marketforms-70397.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,612 F1 · balance_after: Includes 535 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 912. Read SEC document |
| November 26, 2024 Filed Nov 27, 2024 18:07 UTC | DNP SELECT INCOME FUND INC DNP · Entity 4041 | PurchaseCommon stock | 2,000 | $9.60 | $19,200.00 |
DisclosureSEC source: 0001213900-24-103301 · marketforms-67442.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,361 F1 · balance_after: Includes 482 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 1361. Read SEC document |
| November 26, 2024 Filed Nov 27, 2024 18:04 UTC | Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444 | PurchaseCommon Stock | 1,500 | $12.32 | $18,480.00 |
DisclosureSEC source: 0001213900-24-103298 · marketforms-67441.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,877 F1 · balance_after: Includes 377 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 377. Read SEC document |
| April 10, 2024 Filed Apr 11, 2024 23:35 UTC | DTF TAX-FREE INCOME 2028 TERM FUND INC DTF · Entity 6905 | PurchaseCommon stock | 2,500 | $10.70 | $26,750.00 |
DisclosureSEC source: 0001213900-24-032287 · marketforms-65536.xml · nonDerivative · entry 2 Grumhaus David D Jr. · CIK 0001611309 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,013.597 F1 · balance_after: Includes 7.597 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 7.597. Read SEC document |
| April 09, 2024 Filed Apr 11, 2024 23:35 UTC | DTF TAX-FREE INCOME 2028 TERM FUND INC DTF · Entity 6905 | PurchaseCommon stock | 6 | $10.77 | $64.62 |
DisclosureSEC source: 0001213900-24-032287 · marketforms-65536.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,513.597 F1 · balance_after: Includes 7.597 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 7.597. Read SEC document |
| April 09, 2024 Filed Apr 11, 2024 23:32 UTC | Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444 | PurchaseCommon Stock | 3,000 | $9.42 | $28,260.00 |
DisclosureSEC source: 0001213900-24-032285 · marketforms-65535.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,000 Read SEC document |
| December 12, 2023 Filed Dec 14, 2023 14:00 UTC | DNP SELECT INCOME FUND INC DNP · Entity 4041 | PurchaseCommon stock | 3,000 | $8.30 | $24,900.00 |
DisclosureSEC source: 0001209191-23-058580 · doc4.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,879 F1 · balance_after: Includes 457 shares acquired by the reporting person since his last Form 4 filing through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Total number of shares held through the plan is 879. Read SEC document |
| July 31, 2023 Filed Jul 31, 2023 19:49 UTC | Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444 | PurchaseCommon Stock | 2,500 | $10.01 | $25,025.00 |
DisclosureSEC source: 0001209191-23-043804 · doc4.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| June 16, 2023 Filed Jun 16, 2023 23:51 UTC | Duff & Phelps Utility & Infrastructure Fund Inc. DPG · Entity 5444 | PurchaseCommon Stock | 2,500 | $10.08 | $25,200.00 |
DisclosureSEC source: 0001209191-23-038128 · doc4.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,500 Read SEC document |
| March 24, 2023 Filed Mar 27, 2023 13:13 UTC | DTF TAX-FREE INCOME 2028 TERM FUND INC DTF · Entity 6905 | PurchaseCommon stock | 2,500 | $10.96 | $27,400.00 |
DisclosureSEC source: 0001209191-23-021144 · doc4.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,500 Read SEC document |
| August 04, 2021 Filed Aug 5, 2021 19:48 UTC | DNP SELECT INCOME FUND INC DNP · Entity 4041 | PurchaseCommon Stock | 1,000 | $10.57 | $10,569.90 |
DisclosureSEC source: 0001209191-21-049907 · doc4.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · President* 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,422 F1 · balance_after: This amount includes 422 shares acquired through a dividend reinvestment plan meeting the requirements of Rule 16a-11 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| June 18, 2021 Filed Jun 21, 2021 14:22 UTC | Duff & Phelps Select MLP & Midstream Energy Fund Inc. DSE · Entity 137850 | SaleCommon Stock | 1,710 | $9.37 | $16,023.56 |
DisclosureSEC source: 0000883237-21-000162 · wf-form4_162429972770232.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $9.35 to $9.38 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote F2 · balance_after: Since the last Form 4 filing, 3540 additional shares were acquired pursuant to the Fund's dividend reinvestment plan and thereafter, effective after the close of business on November 6, 2020, the Fund conducted a "1 for 10" reverse stock split. Read SEC document |
| August 30, 2018 Filed Aug 31, 2018 12:40 UTC | Duff & Phelps Select MLP & Midstream Energy Fund Inc. DSE · Entity 137850 | PurchaseCommon Stock | 1,300 | $5.92 | $7,696.00 |
DisclosureSEC source: 0000883237-18-000087 · wf-form4_153573362359755.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,560 Read SEC document |
| June 27, 2018 Filed Jun 27, 2018 17:43 UTC | Duff & Phelps Select MLP & Midstream Energy Fund Inc. DSE · Entity 137850 | PurchaseCommon Stock | 2,000 | $5.51 | $11,020.00 |
DisclosureSEC source: 0000883237-18-000074 · wf-form4_153013576860590.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,260 F1 · balance_after: Since filing his last Form 4, Mr. Grumhaus received 1,560 of these shares pursuant to his participation in the Fund's Dividend Reinvestment Program. Read SEC document |
| September 06, 2016 Filed Sep 7, 2016 15:47 UTC | Duff & Phelps Select MLP & Midstream Energy Fund Inc. DSE · Entity 137850 | PurchaseCommon Stock | 3,000 | $7.69 | $23,064.00 |
DisclosureSEC source: 0001225208-16-038937 · doc4.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,700 Read SEC document |
| July 05, 2016 Filed Nov 29, 2016 20:00 UTC | DNP SELECT INCOME FUND INC DNP · Entity 4041 | PurchaseCommon Stock | 1,000 | $10.63 | $10,630.00 |
DisclosureSEC source: 0000765443-16-000046 · primary_doc.xml · nonDerivative · entry 1 Grumhaus David D Jr. · CIK 0001611309 · Officer of the Adviseer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,018.87 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.